ICH Quality Guidelines

ICH Quality Guidelines

An Implementation Guide

Edited by

Andrew TeasdaleAstraZeneca, London, UK

David ElderConsultant (Former GSK), Hertford, Hertfordshire, UK

Raymond W. NimsRMC Pharmaceutical Solutions, Inc., Longmont, CO, USA

This edition first published 2018© 2018 John Wiley & Sons, Inc.

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Library of Congress Cataloging‐in‐Publication Data

Names: Teasdale, Andrew, editor. | Elder, David (David P.), editor. | Nims, Raymond W.Title: ICH quality guidelines : an implementation guide / edited by Andrew Teasdale, AstraZeneca, London, United Kingdom, David Elder, Consultant (fGSK), Hertford, Hertfordshire, SG14 2DE, United Kingdom, Raymond W. Nims, RMC Pharmaceutical Solutions, Inc., Longmont, CO, USA.Other titles: International Conference on Harmonization quality guidelinesDescription: First edition. | Hoboken, NJ : Wiley, 2018. | Includes bibliographical references and index. |Identifiers: LCCN 2017013162 (print) | LCCN 2017014318 (ebook) | ISBN 9781118971123 (pdf) | ISBN 9781118971130 (epub) | ISBN 9781118971116 (hardback)Subjects: LCSH: Drug development. | Drugs–Testing. | Drugs–Quality control. | BISAC: MEDICAL / Pharmacology. | TECHNOLOGY & ENGINEERING / Quality Control. | SCIENCE / Chemistry / Industrial & Technical.Classification: LCC RM301.25 (ebook) | LCC RM301.25 .I24 2018 (print) | DDC 615.1/9–dc23LC record available at https://lccn.loc.gov/2017013162

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v

List of Contributors ix

An Introduction to ICH Quality Guidelines: Opportunities and Challenges 1

1 ICHQ1A(R2) Stability Testing of New Drug Substance and Product and ICHQ1C Stability Testing of New Dosage Forms 3Andy Rignall

2 Stability Testing: Photostability Testing of New Drug Substances and Products ICH Q1B 45David Clapham

3 ICH Q1D: Bracketing and Matrixing Designs for Stability Testing of New Drug Substances and Products 73Raymond Peter Munden

4 ICH Q1E Evaluation for Stability Data 89Garry Scrivens

5 Q2(R1) Validation of Analytical Procedures: Text and Methodology 127Phillip Borman and David Elder

6 Impurities in New Drug Substances and New Drug Products: ICH Q3A/B: Key Guidelines in the General Impurity Management Process 167Andrew Teasdale, David Elder, James Harvey, and Steven Spanhaak

7 ICH Q3C Impurities: Guideline for Residual Solvents 199John Connelly

Contents

Contentsvi

8 ICH Q3D Elemental Impurities 233Andrew Teasdale and Sarah Thompson

9 ICH Q4: Pharmacopeial Harmonization and Evaluation and Recommendation of Pharmacopeial Texts for Use in the ICH Regions 281David Elder

10 ICH Q5A: Viral Safety of Biotechnology Products 311Daniel Galbraith

11 ICH Q5B Analysis of the Expression Construct in Cell Lines Used for Production of Recombinant DNA‐Derived Protein Products 337Jianxin Ye, Zhong Liu, and David Pollard

12 ICH Q5C Stability Testing of Biotechnological/Biological Products 345John G. Davies, Di Gao, Yoen Joo Kim, Richard Harris, Patricia W. Cash, Timothy L. Schofield, Roujian Zhang, and Qiang Qin

13 Q5D Derivation and Characterization of Cell Substrates Used for Production of Biotechnological/Biological Products 375Mark Plavsic

14 Conduct of Risk Assessments: An Integral Part of Compliance with ICH Q5A and ICH Q5D 395Raymond W. Nims

15 ICH Q5E Comparability of Biotechnological/Biological Products Subject to Changes in Their Manufacturing Processes: Summary and Analysis of ICH Q5E Guideline 409Ramani R. Raghavan and Robert McCombie

16 ICH Q6A Specifications: Test Procedures and Acceptance Criteria for  New Drug Substances and New Drug Products: Chemical Substances 433David Elder

17 ICH Q6B Specifications: Test Procedures and Acceptance Criteria for Biotechnological/Biological Products 467Scott R. Rudge and Raymond W. Nims

18 Process‐Related Impurities in Biopharmaceuticals: A Deeper Dive into ICH Q6B 487Anil Raghani, Kim Li, Jeanine L. Bussiere, Joel P. Bercu, and Jinshu Qiu

Contents vii

19 ICH Q7 Good Manufacturing Practice Guide for Active Pharmaceutical Ingredients (APIs) 509Gordon Munro

20 Q8(R2): Pharmaceutical Development 535Per Holm, Morten Allesø, Mette C. Bryder, and René Holm

21 ICH Q9 Quality Risk Management 579David Elder and Andrew Teasdale

22 ICH Q10 Quality Systems: ICH Q10 Implementation at Genentech/Roche 611Larry Wigman and Danny Ooi

23 ICH Q11: Development and Manufacture of Drug Substance 639Ronald Ogilvie

24 ICH M7: Assessment and Control of DNA Reactive (Mutagenic) Impurities in Pharmaceuticals to Limit Potential Carcinogenic Risk 667Andrew Teasdale

Index 701

ix

Morten AllesøChemical and Pharmaceutical ResearchH. Lundbeck A/SValbyDenmark

Joel P. BercuGilead Sciences, Inc.Foster City, CAUSA

Phillip BormanGSKWareUK

Mette C. BryderChemical and Pharmaceutical ResearchH. Lundbeck A/SValbyDenmark

Jeanine L. BussiereAmgen Inc.Thousand Oaks, CAUSA

Patricia W. CashMedImmuneGaithersburg, MDUSA

David ClaphamDavid Clapham, Independent Pharmaceutical ConsultantHertfordshireUK

John ConnellyApoPharma IncorporatedToronto, OntarioCanada

John G. DaviesMedImmuneGaithersburg, MDUSA

David ElderDavid P Elder ConsultancyHertfordUK

Daniel GalbraithBioOursource Ltd.GlasgowUK

List of Contributors

List of Contributorsx

Di GaoAstraZenecaFrederick, MDUSA

Richard HarrisAstraZenecaFrederick, MDUSA

James HarveyGSKWareUK

Per HolmChemical and Pharmaceutical ResearchH. Lundbeck A/SValbyDenmark

René HolmChemical and Pharmaceutical ResearchH. Lundbeck A/SValbyDenmark

Yoen Joo KimMedImmuneGaithersburg, MDUSA

Kim LiAmgen Inc.Thousand Oaks, CAUSA

Zhong LiuMerck & Co. Inc.Kenilworth, NJUSAandCurrently at: Adello BiologicsPiscataway, NJUSA

Robert McCombieGenentech Inc.San Francisco, CAUSA

Raymond Peter MundenMunden ConsultancyRoystonUK

Gordon MunroMunro‐Elbrook AssociatesWelwynUK

Raymond W. NimsRMC Pharmaceutical Solutions, Inc.Longmont, COUSA

Ronald OgilviePfizerSandwichUK

Danny OoiGenentech, a Member of the Roche GroupSouth San Francisco, CAUSA

Mark PlavsicLysogeneCambridge, MAUSA

David PollardMerck & Co. Inc.Kenilworth, NJUSAandCurrently at: Amicus TherapeuticsCranbury, NJUSA

List of Contributors xi

Qiang QinAstraZenecaFrederick, MDUSAandCurrent Affiliation: GlaxoSmithKlineRockville, MDUSA

Jinshu QiuAmgen Inc.Thousand Oaks, CAUSA

Anil RaghaniCoherus BioSciences, Inc.Camarillo, CAUSA

Ramani R. RaghavanMerck & Co., Inc.Rahway, NJUSA

Andy RignallAstraZenecaLondonUK

Scott R. RudgeRMC Pharmaceutical Solutions, Inc.Longmont, COUSA

Timothy L. SchofieldCurrent Affiliation: GlaxoSmithKlineRockville, MDUSAandMedImmuneGaithersburg, MDUSA

Garry ScrivensPfizerSandwichUK

Steven SpanhaakJanssen Pharmaceutica NVBeerseBelgium

Andrew TeasdaleAstraZenecaMacclesfieldUK

Sarah ThompsonAstraZenecaMacclesfieldUK

Larry WigmanGenentech, a Member of the Roche GroupSouth San Francisco, CAUSA

Jianxin YeCurrently at: Amicus TherapeuticsCranbury, NJUSAandMerck & Co. Inc.Kenilworth, NJUSA

Roujian ZhangAstraZenecaFrederick, MDUSA

1

ICH Quality Guidelines: An Implementation Guide, First Edition. Edited by Andrew Teasdale, David Elder, and Raymond W. Nims. © 2018 John Wiley & Sons, Inc. Published 2018 by John Wiley & Sons, Inc.

The International Conference on Harmonisation (ICH) of technical require-ments for registration of pharmaceuticals for human use was initiated in April 1990. ICH had the initial objective of coordinating the regulatory activities of the European, Japanese, and the United States bodies (along with the pharma-ceutical trade associations from these three regions), to discuss and agree the scientific and technical aspects arising from product registration. This was recently supplemented by the addition of Health Canada and Swissmedic, to the core ICH Steering Committee (SC) [1].

At the initial ICH SC meeting the terms of reference were agreed and it was decided that harmonisation initiatives would be divided into Safety (S), Quality (Q), and Efficacy (E), reflecting the main criteria which underpin the approval and authorization of new medicinal products. It was subsequently realised that several topics were multi‐disciplinary (M) in nature.

Thus, ICH’s mission was to realize greater harmonization in both the inter-pretation and application of requirements for new product registration, with the objective of minimizing repetition/duplication of both testing and report-ing, which is routinely performed as part of the development of new medicinal products. Harmonizing these differences via the ICH guidelines would help industry reduce development times, save resources and benefit the patient.

It is difficult not to underestimate the benefits of the ICH initiative in general and the ICH Quality guidelines in particular (and those related Multi‐Disciplinary guidelines), to the CMC community. Although it is fair to state that not all of the guidelines have been equally successful; it is very clear that the majority have been very successful and there is an ongoing recognition of the need to update and maintain the guidance in line with new developments and technological advances. Furthermore, the desire to extend the benefits of harmonisation beyond the ICH regions through collaborative efforts is to be welcomed and brings us a step closer to global harmonisation of these impor-tant principles of medicinal product evaluation. As part of the objective to extend its global outreach, ICH recently welcomed new regulatory members

An Introduction to ICH Quality Guidelines

Opportunities and Challenges

ICH Quality Guidelines2

from Brazil and South Korea. In addition regulatory authorities from Cuba, Kazakhstan, and South Africa were also agreed as ICH Observers [2].

The success of the ICH guidelines, in many ways has been due to the adoption of overarching principles and a guidance framework describing the main requirements for compliance without being overly prescriptive. Yet while varying levels of detailed information has been included in the different guide-lines to facilitate understanding, it has left many seeking further clarification on the practical application of the guidance. The purpose and benefit of this book is that it allows the reader a deeper insight provided through dedicated chapters into the practical aspects of a specific guideline’s application.

Each of the chapters seeks to examine the key requirements of the specific guidelines and then considers the challenges both in interpretation and practi-cal implementation. It is this perspective, looking behind the basic framework; and then examining both the intent and practical guidance that I believe will make this text an essential aid to those involved in CMC matters, both from an industry and regulators’ perspective.

To achieve the intended goal the Editors have pulled together an unrivalled collation of subject matter experts aligned to each chapter, many involved directly in the derivation of the ICH guidelines themselves.

Dr David Tainsh, Chief Product Quality Officer, GSK

References

1 SwissMedic. ICH Meeting in Minneapolis, USA: SwissMedic and Health Canada Included as New Members, July 9, 2014. https://www.swissmedic.ch/aktuell/00673/02270/index.html?lang=en. Accessed on February 27, 2017.

2 ICH. Press Release Osaka Meeting, November 17, 2016. http://www.ich.org/ichnews/press‐releases/view/article/ich‐assembly‐osaka‐japan‐november‐2016.html. Accessed on April 12, 2017.

3

ICH Quality Guidelines: An Implementation Guide, First Edition. Edited by Andrew Teasdale, David Elder, and Raymond W. Nims. © 2018 John Wiley & Sons, Inc. Published 2018 by John Wiley & Sons, Inc.

1

1.1 Introduction

A core part of the medicines development process is an understanding of the chemical and physical behavior of the active ingredient and the medicinal product into which it is incorporated under the storage and usage conditions they are likely to encounter. The International Conference on Harmonisation of Technical Requirements for the Registration of Pharmaceuticals for Human Use (ICH) stability guidance provides a foundation and framework for this endeavor.

Stability testing was one of the first quality, safety, and efficacy topics harmo­nized across the ICH territories (Europe, USA, Japan, Canada, and Switzerland) in tripartite guidance. The latest revision of ICHQ1A Stability Testing of New Drug Substances and Products was adopted in 2003 [1]. It forms the parent guideline to a suite of associated guidelines providing more details on recommended stability practice. The guideline provides information on stor­age conditions and duration and testing requirements that should be used to generate the core stability data package in support of product registration in the ICH regions. To encompass the behavior of different drug delivery plat­forms and their input drug substances, the guideline contains some flexibility in the requirements. Importantly, the guideline also includes an introductory statement recognizing that alternative stability approaches can be used if scientifically justified. A short annex to the parent stability guideline is embod­ied in ICHQ1C, which addresses the stability requirements for a new dosage form when an applicant develops a new product variant following an original drug substance and drug product application [2].

ICHQ1A(R2) Stability Testing of New Drug Substance and Product and ICHQ1C Stability Testing of New Dosage FormsAndy Rignall

AstraZeneca, London, UK

ICH Quality Guidelines4

As worldwide registration is the goal for many medicinal products, the standardization and simplification of the global supply chain for a new medicine, via harmonized stability and labeling practice, is desirable. While the intent of the guideline is to recommend the data sets required to register new drug substance and products in the three main ICH regions, its content is cited and used much more widely. The ICH guidelines are also referenced in territo­rial guidance beyond the ICH regions either on a stand‐alone basis or in support of local stability guidance. For example, the World Health Organization (WHO) is a long‐standing observer of the ICH process, leading to the incorpo­ration of much of the content of the ICH into its own stability guidance [3].

The ICH stability guidance not only is intended for registration purposes but also informs stability practice during development, for example, the storage conditions described in the guidance can provide a framework for the develop­ment stability protocols used to underwrite the quality, safety, and efficacy of drug product used in clinical studies.

While the guidance embodies a traditional approach to stability protocols, the principles described in terms of the stability performance requirements for pharmaceutical products have also been translated into targets for predictive stability screening tools. These tools can provide assurance that when formal stability studies to support product registration are performed in accordance with ICH guidance, the likelihood of obtaining unexpected results is reduced.

Some stability testing requirements are linked with specific product platforms and are detailed in other guidance. Examples include instructions relating to studies that justify in‐use storage, strategies to demonstrate the suit­ability of protective secondary packaging, and specific studies to underwrite temperature excursions during storage and transportation.

In the “quality by design” era, where pharmaceutical development practice is guided by science‐ and risk‐based approaches, highlighted in three more recent ICH guidelines on pharmaceutical development [4], risk management [5], and pharmaceutical quality system [6], the focus for stability studies has evolved further to emphasize the importance of generating detailed stability knowl­edge and understanding. This may include establishing the attributes of the input materials (drug substance and excipient) and any processing parameters that are critical to stability performance. Following identification of the attrib­utes critical to stability, an integrated control strategy should be established to ensure the attributes remain within acceptable limits, thereby assuring that the required stability performance is demonstrated. The use of risk management tools to ensure development activities are focused on the areas that will have the most influence on the control of stability (and therefore quality safety and efficacy) is also a feature.

From a practical perspective, the goal of performing stability testing on products intended for global registration remains challenging, requiring the development of a protocol that will result in a high probability of approval in all

ICHQ1A(R2) Stability Testing of New Drug Substance and Product 5

major markets. Regions with their own specific stability requirements can make the development of a truly “global” registration protocol more challeng­ing. For example, the guidance on stability study requirements for the registra­tion of drug products in countries forming the ASEAN region of Southeast Asia recommends a different long‐term storage condition compared with the ICH regions [7].

This chapter aims to provide an understanding of the fundamental principles behind stability testing and then demonstrate how the guidance is typically applied during pharmaceutical development.

1.2 The Fundamental Science That Underpins Stability Testing

1.2.1 The Stability Process

Quality, safety, and efficacy must be maintained throughout the shelf life of a medicine, from manufacture to the end of shelf life and when being used by the patient. This can be achieved by developing an understanding of the chemical and physical properties of the product so that it is possible to establish meth­ods to control and monitor the critical parameters and establish the long‐term behavior of the drug substance and medicine.

The regulations require an expiry date on drug products or a retest date on active pharmaceutical ingredient [8]. For drug product, the expiry date defines the period within which the drug product is expected to comply with its approved control specification limits when stored under the recommended conditions. Similarly, a retest date is assigned to drug substance. If a drug sub­stance batch is required for drug product manufacture beyond its labeled retest date, it should be retested to confirm continued compliance with specification prior to use. Stability testing provides the means to investigate how a medicine behaves under different environmental conditions and demonstrate that a pharmaceutical product maintains its fitness for use throughout this labeled shelf life. The stability testing of drug products involves evaluating them on storage over time in the container/closure system intended for use in the clinic or the commercial market.

The stability of a pharmaceutical product is the result of a complex interplay between environmental factors (temperature, humidity, availability of oxygen, and exposure to light), and the intrinsic chemical and physical stability of active ingredients and formulation excipients. The conditions under which these ingredients are processed to form the medicine, and the degree of protection provided by any primary and secondary packaging are also influencing factors.

The stability process involves finding out what degradation pathways are available to a new chemical entity, what steps can be taken to assess the extent

ICH Quality Guidelines6

of degradation most likely to be encountered under normal storage, and what strategies are available to prevent or limit any observed degradation. Chemical breakdown constitutes a major factor in drug or formulation failure on storage, but physical, biological, and microbiological changes can also be a source of instability.

Chemistry driven changes include changes in product quality or product performance characteristics caused by

● Increase in levels of degradation products with potential impact on safety ● Potency loss associated with chemical breakdown/reaction of active ingredi­

ent with potential impact on efficacy ● Change in visual, taste, or odor caused by increased levels of degradation,

with potential impact on overall product acceptability

The extent of chemical breakdown does not need to be significant for potential problems to occur, for example, formation of low levels of a breakdown product that gives rise to specific safety concerns or small amounts of a highly colored degradation product affecting visual appearance.

1.2.2 Factors Affecting Stability

Demonstrating stability knowledge and appropriate control involves develop­ing an understanding of the factors that can affect the stability of a medicine and confirming that appropriate controls are in place to assure quality, safety, and efficacy throughout the labeled shelf life. These factors include

● The intrinsic stability of the active pharmaceutical ingredient(s) ● Input excipient properties and how they affect the stability of the API ● The unit operations associated with the manufacturing process ● Environmental factors (external, internal, and microenvironment) ● The materials and functionality associated with any packaging system

Further factors affecting product stability are outlined in Figure 1.1

1.2.2.1 Intrinsic Stability of the Active Pharmaceutical IngredientPharmaceuticals are often developed as salts of organic acids or bases in order to achieve the desired physicochemical properties. Ironically often the functionality that imparts the desired efficacy in a medicine may also make the molecule less stable. Pharmaceuticals are generally composed of carbon skeletons with additional functional groups. Electron distribution, bond polar­ity, and steric factors associated with the carbon skeleton can all affect stability. Factors affecting the electron distribution or electron density, in a drug molecule, can greatly affect its susceptibility to degradation. For example, dou­ble bonds alternated across a structure can impart stabilizing conjugation via delocalized electron density. The conjugation can make a molecule more rigid

ICHQ1A(R2) Stability Testing of New Drug Substance and Product 7

and also enhance the absorption of UV light. The delocalized electrons can act as a conduit for the transmission of electron density or full negative or positive charge, and this resonance can stabilize charged species making them more likely to form. Inductive effects can result in bond polarization, a movement of electron density across the bond depending on the electronegative or electropositive nature of substituents. Substituent groups can profoundly affect the reactivity, and therefore stability, of pharmaceuticals. Neighboring substituents may interrupt conjugation inhibiting electron delocalization and the potential for resonance stabilization. More often neighboring substituents, especially the bulky ones, prevent a reagent getting to the reaction site, particularly true for nucleophilic substitution (SN2) reactions. Similarly, the presence of a bulky counterion such as chloride can protect the salt‐forming center of the drug substance from oxidative attack. These are all examples of steric hindrance.

Knowledge of the shape and molecular arrangement in tandem with the knowledge of how functional groups react enables theoretical prediction on how a new chemical entity might behave under given physical and chemical conditions [9].

Knowledge of the environment within the formulation allows prediction of those conditions that may initiate or catalyze the reactions causing breakdown.

Therefore, developmental stability programs should be designed to dem­onstrate how robust a product is to environmental conditions of heat, humidity, and light. These programs are often more extreme than the default ICH storage conditions as there is a desire to accelerate the degradation to

Pharmaceuticalproductstability

Input materialproperties

Packaging

Manufacturingprocess

Environment

Intrinsic stability

Surface properties

Impurities

Contaminants

Hygroscopicity

Temperature

HumidityTransportation

Patient usage

Degree of protection

Moisture permeability

Leaching of additives

Impact of unit operations

Scale factors

Mixing/agitation

Size reductionCompactionPhysical state/form

Particle size

Surface areaDrug/excipient ratio

Figure 1.1 Factors potentially affecting product stability.

ICH Quality Guidelines8

allow meaningful decisions to be made in shorter time periods. Screening studies to investigate chemical reactions with extraneous species such as process impurities or formulation or packaging additives should also be con­sidered as well as studies to assess the potential for physical changes to occur on storage.

1.2.2.1.1 Degradation Reaction PathwaysChemical Breakdown There are four main reaction mechanisms, all of which may occur as part of a degradative process: substitution, addition, elimination, and rearrangement. Degradation reactions can be broadly categorized as hydrolysis, oxidation, photolysis, and isomerization or rearrangement. In addi­tion, specific interactions between the active molecule and functional groups on excipients, process‐related impurities, or extraneous contaminants may also result in additional degradation reaction pathways.

Hydrolysis Due to the ubiquity of water as a potential reactant, the most prevalent reaction mechanism associated with degradation reactions is hydrol­ysis. Derivatives of carboxylic acids such as esters, amides, imides, lactones, lactams, and acid chlorides are particularly susceptible [10]. It is difficult to completely eliminate water from solid drug products, and it is also the most commonly used solvent for parenteral products. The general reaction for car­boxylic acid derivatives is shown:

RCOOR H O RCOOH R OH2

Water acts as a nucleophile attacking electron‐deficient or electropositive sites within drug molecules. The acyl derivatives ester, amide, and imide are most prone to attack, and acid or base can catalyze the reaction.

Alkaline hydrolysis involves the initial nucleophilic attack of a hydroxide ion on the electropositive center and then, for example, in the case of an ester, elimination of the alkoxy substituent to form an acid and alcohol.

In acid‐catalyzed hydrolysis of esters, the carbonyl oxygen is protonated and then water nucleophilically attacks the electron‐deficient carbon center. Aromatic esters are more reactive compared with aliphatic.

The products are the same via either mechanism. Heat/light and local pH can also catalyze hydrolysis.

Although this is a second‐order reaction, if water is present in a large excess, it will exhibit pseudo‐first‐order kinetics.

A similar situation occurs with solvents that can act as nucleophiles and this is termed solvolysis. The polarity (or dipole moment) of the solvent is an important factor in such reactions.

Protecting an active ingredient that is prone to hydrolytic degradation natu­rally involves limiting the presence of unbound water, which would be available for reaction. Using a suitable moisture barrier with low water permeability in

ICHQ1A(R2) Stability Testing of New Drug Substance and Product 9

the primary and/or secondary pack will reduce the amount of moisture being transported from the external environment inside the pack. Employing a desiccant such as silica gel, using excipients with low moisture content or excipients that can adsorb unbound water such as colloidal silicon dioxide, will also help to maintain low humidity levels inside the protective pack. As extremes of pH can cause hydro­lytic breakdown, the use of buffers (more often in solution dosage forms but there are solid state buffer systems in use as well) can stabilize a system.

Oxidation Due to its presence in the atmosphere, oxygen represents another readily available reactant for potential degradation mechanisms. Where the reaction occurs with aerial oxygen, this is often called “autoxidation.” The oxi­dation mechanism also includes the addition of an electronegative atom, such as oxygen, or a radical or the loss of an electropositive atom, such as hydrogen, a radical or an electron [11]. Aldehydes, amines, ethers, phenols, thiols, thioethers, and unsaturated fat/oil functionalities are particularly prone to oxidation. The mechanism and resulting degradation product profile can be complex, and it is often associated with discoloration.

General reaction: R R O R OO2

Oxidation is probably the second most common degradation mechanism.Oxidation of pharmaceuticals often occurs by direct reaction with atmos­

pheric oxygen under ambient conditions. Usually this is a free radical reaction resulting initially in the formation of hydroperoxides that may react further. This is called auto‐oxidation.

The free radical mechanisms can be complex involving initiation, propaga­tion, and termination steps, and many auto‐oxidation reactions can be cata­lyzed by trace amounts of metal ions or hydroperoxides present as impurities. For example:

Initiation

Propagation

Termination

R H R Free radical

R + O2 R O O

R O O + R H R O OH

R O O Molecular products2

+ R

R O O + C C C CROO

A free radical is a highly reactive atom or molecule with an unpaired electron. Formation of a free radical, in an initiation step leading to further reaction, can be catalyzed by the presence of trace metal and/or trace peroxide or exposure to light, heat, or base.

Propagation involves formation of a peroxy radical, which can then abstract protons to form a hydroperoxide or add to a double bond to form an addition

ICH Quality Guidelines10

product radical. Hydroperoxides can decompose in the presence of free radical initiators to form peroxy and alkoxy radicals. The alkoxy radical can abstract protons to form alcohols or react with oxygen to form the corresponding acid, aldehyde, or ketone, which may react further. Termination involves two radi­cals combining to form stable molecules.

Inhibiting the oxidation of labile active ingredients involves preventing exposure to oxygen and light through use of a suitable barrier; sparging solution formulations with inert gas (such as nitrogen, carbon dioxide, helium) is also employed in specific cases. The inclusion of an antioxidant system such as a chelating agent to remove any free metal ions and labeling with a lower storage temperature may help. Addition of an antioxidant sys­tem, to preferentially remove oxygen or scavenge for any free radicals, may also stabilize a formulation that is prone to oxidation. If an antioxidant sys­tem is added to aid stability performance, an assay for antioxidant content is usually performed to monitor its continued effectiveness. Where the use of excipients that are prone to auto‐oxidation is required, the selection of grades that contain minimal levels of aldehyde or peroxide contaminants will help to limit oxidative degradation.

Photolysis Photolysis involves degradation initiated or catalyzed by electro­magnetic radiation (artificial or natural light). In a photolytic degradation mechanism, energy absorbed by the molecule is sufficient to activate degrada­tion [12]. Oxidation, reduction, isomerization, rearrangement, decarboxylation, dealkylation, dehalogenation, and dehydrogenation pathways can all occur. Aromatic and conjugated heterocyclic molecules, aldehydes, and ketones are all susceptible. Complex mixtures of degradation products may result.

One description of photodecomposition is light‐induced free radical‐initi­ated breakdown, which is not mediated by molecular oxygen. Normal sunlight or artificial light can initiate photolytic degradation. If the electronic spectrum of a molecule overlaps with the spectrum of sunlight or artificial light, energy can be absorbed, and the molecule reaches a higher or excited state (electron promotion to a higher orbital, making the molecule more reactive). The excited state either dissipates the energy—excited electrons returning to their original orbital or reaction occurs by molecular decomposition or energy transfer with other molecules. Saturated molecules containing single bonds do not react in this way, but molecules containing double bonds can absorb light, so conse­quently aromatic carbons and their heterocyclic analogs, aldehydes, and ketones are the most susceptible. Substituted 1,4‐dihydropyridine antihypertensive agents, for example, nifedipine, demonstrate this behavior, where different sub­stituents can influence their photostability [13]. Many potential mechanisms exist often resulting in complex mixtures of degradation products.

Prevention of photolytic breakdown involves reducing the light transmitted to the active ingredient. The use of suitable protective barrier layers (opaque

ICHQ1A(R2) Stability Testing of New Drug Substance and Product 11

plastic, low actinic amber‐colored glass, aluminum), with reduced or no light transmittance, can provide some degree of protection for products susceptible to photodecomposition. In addition, colorants such as titanium dioxide or hydrated alumina lakes used in tablet film coatings and capsule shells may also behave as opacifiers, providing light protection for the underlying formulation. As seen previously with oxidation, scavenging mol­ecules can minimize free radicals and hence inhibit the photolysis reaction and the use of low impurity excipients and chelating agents to remove any potentially catalytic metals all potentially prolong the shelf life of photo‐labile active ingredients. Protection can also be achieved by employing com­plexes such as cyclodextrins or use of surfactants to form a protective micelle. Excipients that preferentially absorb light may also be included in the formulation, such as titanium dioxide.

Isomerization A pharmaceutical molecule may be a geometric or stereo iso­mer. Isomerization is used to describe the process of conversion of a single stereoisomer into its conformational, optical, or geometric isomers [14]. The functionality and steric effects associated with the parent molecule are impor­tant. Any unwanted isomer may have different or potentially undesirable activ­ity or be inactive. The unwanted isomer is usually treated an impurity/degradation product (see ICH Q6A).

Stereoisomers possess the same molecular formula and bonding arrange­ment but different orientations of the same groups in space. They can be geo­metric isomers or enantiomers. Isomerization usually occurs via a mechanism that involves an intermediate carbon, which is positively or negatively charged and resonance stabilized.

1.2.2.2 Reactive Species and Their Potential OriginFormulating an active drug substance usually involves dissolving in a suitable solvent, dispersing in a suitable vehicle, or intimately mixing with excipients. Each additional ingredient may contain potential reactants, present as impuri­ties, which might cause degradation. For example, polysaccharide excipients containing free aldehyde or ketone moieties (termed reducing sugars) can undergo an addition/elimination reaction with amine groups (Maillard reac­tion [15]). Further degradation mechanisms can therefore be available where the active ingredient interacts with the functional groups on the formulation excipients or with any extraneous contaminants or impurities present in the excipients (e.g., residual metals, aldehydes, or epoxides [16, 17]). In addition, more than one active pharmaceutical ingredient may be combined in the same formulation.

Excipients may not react themselves, but if they are hygroscopic, this may pull water into a formulation containing a moisture‐sensitive drug. Similarly, a hydrated excipient might lose its water of hydration on mechanical processing,

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and this water may act as a reagent or transport medium facilitating other reac­tions, particularly if the drug substance is manufactured in its amorphous form or contains localized amorphous regions [18]. Table 1.1 shows some potential degradation reactants or reaction initiators and their pharmaceutical origins. Trace metals or peroxides could act as catalysts in the formation of free radicals. Extremes of pH can potentially leach potential reactants out of the surfaces associated with manufacturing equipment such as trace metals from high grade stainless steel or silicates from glass.

The potential for excipients to be a source of reactive species emphasizes the need to characterize their impurity profile extensively and to conduct compat­ibility studies to select suitable excipient combinations.

1.2.2.3 Environmental FactorsOne of the key external factors that can affect stability is the prevailing tem­perature and humidity conditions associated with the intended marketing territories. On the basis of their prevailing yearly climate and mean kinetic temperature, the world can be divided, broadly, into four sectors or climatic zones; see Table  1.2 [19, 20]. The ICH tripartite regions are represented by climatic zone II. Representative long‐term storage conditions for each zone have been derived and can be used in stability protocols to underwrite a shelf life in the specific region. A single long‐term storage condition (30°C ± 2°C/65% RH) for climatic zones III and IV was originally recommended in ICH Q1F. Following further discussion some countries required specific long‐term stor­age conditions, leading to the withdrawal of ICH Q1F. The recommended long‐term storage requirements for regions represented by climatic zones III and IV are now defined in the WHO stability testing guidelines [3].

Table 1.1 Origin of extraneous contaminants that may influence stability.

Potential reactive species or catalyst Potential source

Water Fairly ubiquitous, bound, or unboundAcidic species Poly(oxy)ethylenes including PEGsAlkaline species Dicalcium phosphate, some stearatesMetal ions Manufacturing plant, talc, and other

silicates, poly(oxy)ethylenesLeachable materials (e.g., phthalates or volatile organic hydrocarbons)

Manufacturing plant, transfer lines, seals, containers, and closures

Antioxidants Oils/lipids, magnesium stearate, plastic, and rubber contact materials

Peroxides Povidones, tweens, poly(oxy)ethylenesAldehydes Starch (formaldehyde), lactose, and

poly(oxy)ethylenes

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The local external environment such as the factory, the warehouse, and the hospital and community pharmacy shelf all will usually have some degree of associated temperature control and/or monitoring. Road or air freight transport conditions can present a concern if they result in an uncontrolled environment with respect to temperature, pressure, and vibration. Transportation con­ditions can be controlled to some degree but at increased cost. The concept of good distribution practice (GDP) has been introduced to cover the ware­housing and wholesale distribution of pharmaceuticals including guidance on quality systems and storage/transportation practice [21, 22]. The domestic environment is usually perceived as a much less controlled environment, and the medicine should be designed to withstand the environmental conditions and physical stresses typically encountered during normal storage and use by the intended patient population.

Another aspect of the active ingredient, usually considered as part of the preclinical screening process, is the stability of potential new chemical entities under local physiological conditions during administration, for example, the low pH of the stomach for oral administration and high humidity conditions in the nasal cavity or inside the lungs.

1.2.2.4 The Environment Inside the Primary PackAs primary packaging materials can affect the environment to which the medi­cine or active pharmaceutical ingredient is exposed, the influence of the pri­mary pack on stability performance must be clearly understood [23]. The primary product packaging and the moisture content of the formulation con­stituents predominantly influence the prevailing equilibrium conditions inside the product pack. The product pack is important as it determines how much water vapor or any other volatile species can be transferred to/from the exter­nal environment. Any moisture ingress into the pack becomes available for sorption by the formulation. Hygroscopic formulation constituents can increase the driving force for moisture transport into the pack. As packaged medicines will tend to reach equilibrium with their external surroundings, the permeability of the packaging component materials will influence the time taken to reach this equilibrium. For example, the use of low permeability

Table 1.2 Climatic zones.

Climatic zone Description Derived long‐term storage condition

Zone I Temperate 21°C ± 2°C/45% RH ± 5% RHZone II Subtropical and mediterranean 25°C ± 2°C/60% RH ± 5% RHZone III Hot and dry 30°C ± 2°C/35% RH ± 5% RHZone IVa Hot and humid 30°C ± 2°C/65% RH ± 5% RHZone IVb 30°C ± 2°C/75% RH ± 5% RH

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induction seals can prolong equilibration time for solid drug products with screw‐topped caps/snap on lids. Plastic blisters have some degree of associated permeability, slowing down the time to reach equilibrium further. The perme­ability can be expressed as a moisture vapor transmission rate (MVTR). If the MVTR for the packaging material is known, it can be combined with the humidity‐adjusted Arrhenius equation (the parameters of which are deter­mined using an iso‐conversion approach in an accelerated stability assessment program or ASAP) to predict the stability of the product as a function of pack and storage condition. The presence of desiccant can also be modeled in terms of moisture take‐up and saturation point [24]. See Chapter 4 relating to ICH Q1E for further examination of these factors.

Sealed aluminum foil blisters not only prevent moisture transfer but can also trap any moisture present in the environment during sealing. As the most pro­tective packaging materials are more expensive and therefore add to the overall unit cost of the product, manufacturers need to strike an acceptable balance between the protection and cost elements of the pack. The use of desiccant can maintain a lower relative humidity by preferentially absorbing any moisture present. This equilibrium is usually reached fairly rapidly in relation to the overall shelf life. The amount of desiccant required for a specific pack size can be calculated using a simple calculation [25].

For this reason the guideline requires the assessment of stability in the actual container closure system proposed for long‐term storage and distribution or as a minimum a pack that simulates its’ characteristics.

1.2.2.5 The Formulation MicroenvironmentPharmaceutical products are mixtures of active ingredient and excipients. They can be considered on a particle level in terms of the formulation micro­environment. The local conditions in the region near to the particles of active drug substance can influence stability behavior. For example, the presence of localized moisture may dissolve any drug substance or soluble excipient pre­sent and therefore increase molecular mobility and potential for degradation reactions. Solubilization may also alter local pH and therefore reactivity [26].

In the solid state, factors such as crystal lattice defects, the presence of spe­cific impurities or contaminants, or localized amorphous regions, may result in localized high energy “hotspots” where active ingredient molecules are more mobile and therefore more likely to react [27]. The external environment, in terms of temperature and the potential for transfer of moisture, may also affect the formulation microenvironment. Ideally a comprehensive understanding of the microenvironment factors that can affect overall stability performance should be developed.

With an enhanced level of understanding, potential changes to raw materials or process parameters can be risk assessed against their impact on the formula­tion microenvironment. For example, the effect the relative humidity

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associated with the pack and formulation microenvironment has on solid‐state degradation reaction rate is relatively well understood. This interdependency is explored further in Chapter 4.

1.2.2.6 Chemical Degradation Reaction EnergeticsFor a drug to degrade there needs to be a pathway or mechanism resulting in the transformation of the active to the degradant, favorable thermodynamics (a driving force for the change to occur), and favorable kinetics for the reaction to reach equilibrium in time to have a substantive and ultimately negative effect on product quality.

1.2.2.6.1 Degradation Reaction ThermodynamicsFor the simplified reaction, drug → degradation product:

kRate constant

Concentration of degradation productConcentrration of parent drug

As the most stable state is the one of minimum energy but maximum entropy or disorder, thermodynamics predicts that a degradation reaction will not occur unless the free energy change ΔG is negative. The Gibbs free energy can be calculated as follows:

G H T S

where T is the temperature (K), the enthalpy change ΔH represents the differ­ence in bond energies between reactants and products, and entropy ΔS refers to the degree of disorder.

Enthalpy effects can dominate, but entropy effects can be more significant if breakdown results in a greater number of molecular fragments or a constrained ring system opens during a degradation reaction.

The Gibbs free energy is related to the reaction rate constant via the equation

G RT Kln Rate constant

where R is the ideal gas constant (8.314 J/K/mol) and T is the temperature (K).

1.2.2.6.2 CatalysisA negative value in free energy does not necessarily mean a reaction will occur. Transition state theory postulates that reactions pass through an activated complex or transition state with a higher free energy, which is then subsequently converted to the products. A catalyst can lower the activation energy, making it easier to pass through the transition state to the degradation product (Figure 1.2).

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Electron delocalization may stabilize the resonance of the transition state, facilitating its formation and increasing the likelihood of degradation. This occurs in the light‐induced aromatization of 1,4‐dihydropyridine‐based phar­maceuticals such as nifedipine to form pyridine‐related photolytic degradation products. As seen earlier, pharmaceutical excipients, manufacturing equip­ment, and container closure surfaces may all be sources of trace metals that could catalyze a degradation reaction. Specific drug substances, for example, mycophenolic acid, may chelate trace metal contaminants that can facilitate degradation or result in loss of potency.

Thermodynamics predicts the concentrations of degradant and reactant on reaching equilibrium (if a suitable reaction pathway exists between them) but does not predict how quickly the reaction will reach this equilibrium.

1.2.2.6.3 Degradation Reaction KineticsConsider the simple reaction: drug ⇄ degradation products.

If the rate of change of concentration for the drug can be measured, a rate equation can be constructed for the reaction where the rate constant k for a particular temperature and the way the concentration [D] varies depends on a, the overall order of reaction:

d

dtaD

k D

Reaction order can be determined experimentally by making suitable plots of concentration versus time, at a constant temperature, and from these plots the rate constant can also be calculated.

Rate models can be worked out by setting up the differential equation for change in concentration and solving the resulting integral.

Freeenergy

Transition state

Reactants

Products

ΔG Activation ΔG Activation

ΔG Rxn.

Freeenergy

Reactants

Products

ΔG Rxn.

Figure 1.2 Free energy diagram for a degradation reaction.